2019064511205 Richard S. Siminou CRD 5605796 AWC lp (2023-1696206002154).pdf
FINANCIAL INDUSTRY REGULATORY AUTHORITY
LETTER OF ACCEPTANCE, WAIVER, AND CONSENT
NO. 2019064511205
TO: Department of Enforcement
Financial Industry Regulatory Authority (FINRA)
RE: Richard S. Siminou (Respondent)
General Securities Representative
CRD No. 5605796
Pursuant to FINRA Rule 9216, Respondent Richard S. Siminou submits this Letter of Acceptance, Waiver, and Consent (AWC) for the purpose of proposing a settlement of the alleged rule violations described below.